UMR and the growth of client clearing
Following the implementation of phase six of the uncleared margin rules (UMR) this September, buy-side firms in-scope are carefully considering how to allocate
Source: risk.net
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Top News In Clearing Broker Today - Breaking & Trending Today
FLASH FRIDAY: Clearing Firms Focus on Technology to Stay Competitive
Successful clearing brokers invest in technical and operational capabilities.
Source: tradersmagazine.com
Ameritas Advisory Services to Pay $4.6M to Settle SEC Charges
The SEC said Ameritas failed to disclose that it would benefit from revenue sharing payments when clients invested in certain mutual fund share classes.
Source: wealthmanagement.com
Investment firm with Lee office pays nearly $2 million after SEC cites undisclosed conflict
An investment company associated with October Mountain Financial Advisors in Lee has been censured and ordered to pay $1.4 million to account-holders, along with fines and interest, for failing to
Source: berkshireeagle.com
SEC charges against trader near closure, criminal case looms
A federal judge signed off on sanctions against IFS Securities Inc.'s former head trader for allegedly pocketing phony commissions and unauthorized trades that bankrupted the firm.
Source: bondbuyer.com